RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- S•••••• L•• independent RIA currentsince Jan 10, 2018 · Spring, Tx
- S•••••• L•• independent RIAFeb 3, 2017 to Dec 31, 2017 · Spring, Tx
- S•••••• L•• independent RIAApr 5, 2016 to Dec 31, 2016 · Spring, Tx
- T•• I•••••••• independent RIAJun 10, 2013 to Jul 21, 2014 · Dallas, Tx
- O••• W••••• A•••••••• I••• formerSep 28, 2004 to May 16, 2013 · Spring, Tx
- W••••••• W••••• A•••••••• I••• independent RIAMay 13, 2004 to Sep 23, 2004 · Houston, Tx
- I•• S••••••••• I••• unclassifiedDec 12, 2003 to Sep 23, 2004 · Spring, Tx
- T•• I•••••••• to S•••••• L••left Jul 21, 2014, registered Apr 5, 2016 (624 days) · Other
- O••• W••••• A•••••••• I••• to T•• I••••••••left May 16, 2013, registered Jun 10, 2013 (25 days) · Other
- W••••••• W••••• A•••••••• I••• to O••• W••••• A•••••••• I•••left Sep 23, 2004, registered Sep 28, 2004 (5 days) · Other
- I•• S••••••••• I••• to W••••••• W••••• A•••••••• I•••left Sep 23, 2004, registered May 13, 2004 (-133 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address